Chattanooga, TN Market Street Office

Team
Updated today
OSAIC logo

OSAIC

Institution

Firm-wide stats for OSAIC

Total advisors

7,830

Across 3,557 offices

Clients per advisor

73 Low

Avg AUM per client

$398,336 Typical

HNW client ratio

10% Low

About

Osaic Wealth, Inc. serves a broad mix of retail and institutional clients — including individual and high‑net‑worth investors, pension and profit‑sharing plans, corporations, and charitable organizations — through a large network of affiliated financial advisers and multiple advisory platforms. The firm offers integrated brokerage and investment advisory services, financial planning, retirement plan consulting, unified managed accounts, advisor‑managed portfolios, and access to third‑party money managers and wrap programs.

The firm’s advisers use firm‑provided asset‑allocation tools, risk‑tolerance questionnaires, efficient‑frontier analysis, and automated rebalancing to construct portfolios that may include stocks, bonds, options, mutual funds, ETFs and alternative investments; accounts can be managed on either a discretionary or non‑discretionary basis and clients may impose reasonable investment restrictions. Osaic also supports legacy platform programs and transitions (including accounts transferred from prior mergers) and makes available third‑party services such as Envestnet and SEI for model and managed‑account solutions.

What is noteworthy about Osaic relative to many peers is its complex corporate and platform footprint — including multiple mergers that consolidated broker‑dealer and RIA businesses, significant private‑equity ownership, and an established connection to an alternative‑investment distribution platform — and its use of a variety of third‑party commercial arrangements (revenue sharing, platform payments and other referral or structuring arrangements). The firm has also disclosed multiple regulatory enforcement matters in recent years (including SEC orders and penalties) and maintains advisor recruitment and transition programs and lender‑linked services (sweep and lending arrangements and advisor loan/acceleration incentives) that create identifiable conflicts of interest which the firm discloses and says it manages.

Based on OSAIC

Expertise

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k)

Based on OSAIC

Occupation focus

Founder/Business Owner Executive

Based on OSAIC

Location

715 Market Street, Suite 103

Chattanooga TN 37402

Advisors at this office

6

Advisors at this office

user avatar

Anne T

Series 66

Chattanooga, TN

OSAIC

Anne Topping is a financial advisor at OSAIC with 15 years of industry experience. She holds a Series 66 designation and previously worked at UBS Financial Services for seven years. Anne is involved in the sales and marketing of securities through her role at Scenic City Wealth, LLC. Osaic Wealth, Inc. serves a broad mix of retail and institutional clients, offering integrated brokerage and investment advisory services through a large network of affiliated advisers. The firm provides various portfolio construction tools and supports multiple advisory platforms, including third-party managed account solutions.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

Robert C

Series 63, Series 65

Chattanooga, TN

OSAIC

Robert Cooper is a financial advisor at OSAIC with 14 years of industry experience. He previously worked at Lincoln Financial Securities, Jhfn Sii, and Royal Alliance Associates, INC. Cooper is a Series 63 and Series 65 license holder and serves as a board member for Training Ground Chattanooga, a nonprofit focused on community engagement and event planning. OSAIC serves a diverse range of retail and institutional clients through a broad network of affiliated advisers, offering integrated brokerage and investment advisory services, financial planning, and access to third-party money managers. The firm employs asset-allocation tools and automated rebalancing to manage portfolios that include a variety of securities and alternative investments.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

John B

Series 63, Series 65

Chattanooga, TN

OSAIC

John Burke is a financial advisor with OSAIC in Chattanooga, TN, holding Series 63 and Series 65 credentials and 31 years of industry experience. His prior roles include positions at Lincoln Financial Securities, PJ Robb Variable Corp, and Crump Life Insurance Services. He is also involved as a registered assistant with Scenic City Wealth, where he provides client services and investment research. OSAIC serves a broad range of retail and institutional clients through an extensive network of affiliated advisers and offers integrated brokerage, advisory, and financial planning services. The firm utilizes asset-allocation tools, risk-tolerance assessments, and automated rebalancing to manage diverse investment portfolios on both discretionary and non-discretionary bases.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Darrin W

CFP®, Series 66

Chattanooga, TN

OSAIC

Darrin Wall is a CFP® with nine years of industry experience, currently serving as a financial advisor at OSAIC since 2023. He previously worked at UBS Financial Services and Edward Jones, each for three years, and spent five years with Acuity Merchant Services. Wall is involved with Scenic City Wealth, where he holds roles related to investment advisory and insurance sales. OSAIC serves a diverse client base including individual and high-net-worth investors, pension and profit-sharing plans, corporations, and charitable organizations. The firm offers a range of brokerage and advisory services supported by asset-allocation tools and access to third-party managers, operating a complex platform with multiple mergers and private equity ownership.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

Michael E

Series 63, Series 65

Chattanooga, TN

OSAIC

Michael Edens is a financial advisor at OSAIC with 38 years of industry experience. He holds Series 63 and Series 65 credentials and has previously worked at Lincoln Financial Securities, Royal Alliance Associates, Signator Investors, and John Hancock Mutual Life Insurance Co. He is also a partner in Scenic City Wealth, an LLC involved in sales and marketing of securities, investment advisory, and insurance products. OSAIC serves a diverse client base including individual and high-net-worth investors, pension and profit-sharing plans, corporations, and charitable organizations. The firm provides integrated brokerage and advisory services, utilizing asset-allocation tools and a variety of investment vehicles, with discretionary and non-discretionary management options.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

James H

Series 63, Series 65

Chattanooga, TN

OSAIC

James Henson Jr. is a financial advisor with OSAIC who holds Series 63 and Series 65 credentials and has 32 years of industry experience. He has worked at FSC Securities Corporation from 1995 to 2023 and at Citadel Financial & Retirement Solutions LLC since 2012. In addition to his advisory role, he is the owner of Citadel Financial & Retirement Solutions LLC, where he assists clients with financial planning, portfolio management, and retirement and estate planning. OSAIC serves a diverse client base including individual and high-net-worth investors, pension plans, corporations, and charitable organizations through a large network of advisers and multiple advisory platforms. The firm offers integrated brokerage and advisory services and employs asset-allocation tools, risk-tolerance assessments, and automated rebalancing in managing portfolios that may include a range of securities and alternative investments.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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